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16 Apr 2012, 1:41 pm
(FINRA) may soon issue an investor alert warning against investing in non-traded BDCs, or business development companies. [read post]
31 Mar 2014, 4:18 am
With these changes, FINRA is placing more burdens on a firm’s supervisory system. [read post]
20 Jul 2016, 10:18 am
The Financial Industry Regulatory Authority (FINRA) announced on July 19, 2016 in a News Release that it had fined Prudential Annuities Distributors, Inc. $950,000 for “failing to detect and prevent a scheme that resulted in the theft of approximately $1.3 million from an 89-year-old customer’s variable annuity account. [read post]
22 Aug 2014, 10:06 am
The FINRA arbitration panel ultimately awarded Banamex $4.5 million. [read post]
14 Jun 2017, 12:43 pm
Last year, a FINRA arbitration panel awarded H. [read post]
14 Oct 2015, 2:09 pm
” As a result of their supervisory failures, FINRA imposed a censure on Santander Securities, and ordered them to pay a fine of $2 million, and restitution of approximately $4.3 million. [read post]
18 Aug 2019, 8:07 am
Rodriguez was barred from association with any FINRA member in all capacities. [read post]
22 Sep 2020, 12:15 pm
Kamperman, who is based out of Texas, was suspended by FINRA last year. [read post]
10 Jul 2023, 9:27 am
FINRA is the self-regulator who oversees brokers and brokerage firms. [read post]
2 Aug 2017, 3:15 pm
The fines were assessed between May and July 2017, according to FINRA. [read post]
21 Mar 2016, 10:59 am
FINRA is the regulatory authority that is responsible, under the supervision of the U.S. [read post]
16 Nov 2021, 2:15 pm
Malecki invited to speak on FINRA expungement matters, defamation lawsuits, and wrongful terminations relating to employment arbitrations litigated in FINRA’s dispute resolution forum. [read post]
9 Sep 2015, 6:17 am
A similar claim, excessive trading, under FINRA’s suitability rule involves just the first two elements. [read post]
31 Aug 2015, 8:12 am
Kohn & Company stockbroker, was recently named in a FINRA enforcement proceeding. [read post]
3 Jan 2020, 8:08 am
(CRD#:21111, expelled by FINRA in 2003) of Oklahoma City, OK. [read post]
12 Jan 2021, 8:09 am
Continue Reading › The post LPL Financial Fined $6.5M by FINRA Over Inadequate Supervision appeared first on Investor Lawyers Blog. [read post]
10 Mar 2022, 2:00 am
Continue Reading › The post FINRA Suspends Ex-Stifel Nicolaus Broker Andrew Elsoffer for Two Years appeared first on Investor Lawyers Blog. [read post]
31 May 2021, 7:38 am
Continue Reading › The post FINRA Suspends Ex-MML Investors Services Broker Adam Belardino appeared first on Investor Lawyers Blog. [read post]
11 Nov 2015, 7:03 am
This rule change comes in addition to FINRA’s recently established a toll-free FINRA Securities Helpline for Seniors where elderly investors can seek assistance from FINRA staff regarding concerns about their portfolio or their broker. [read post]
27 Mar 2012, 8:13 pm
Before deciding to work with a brokerage firm that is registered with FINRA, you can always check to see if they have a disciplinary record by using FINRA’s BrokerCheck. [read post]
